Management of documents sent to the Administrative Review Tribunal (ART) 277-09180030

The Service Officer allocated the ART request to prepare document needs to:

Update Database

Update to show the holding position of which AST Officer is preparing the documents and their location.

• From dropdown menu:
• AST Officer, select Service Officer’s name
• AST Officer site select Service Officer’s site
• In Appeals Comments text box, add any additional comments

Document in Cuba

Document the holding position and location of the AST Officer who is preparing the ART document.

Notepad subject: Doc preparation in progress

Notepad body: Documents are being prepared by [insert first name] in [insert site].

Note: if the matter is a review of a care decision and cannot be loaded into the SSAT Maintenance window due to a known system error, continue the existing documentation in the Communications window. All future notes relating to this review, which would normally be added to the SSAT Maintenance window, are to be added to this notepad.

If a party to the review has an invalid address on Cuba, undertake tracing activities.

If the address listed on the review application is different to that listed in Cuba, and the Tribunal or customer have not confirmed this is the correct postal address for service of documents, call the customer to confirm. After confirming, update their details.

To help create and compile the ART documents, read the Objection Statement of Reasons report. This will allow a full understanding of the decision under review, the information used or considered by the decision maker and documents required.

Note: the final ART documents must be sent to the ART within 28 days of the date of the 'Request for statement' or any shorter timeframe as specified by the ART.

If there is a problem with the Objection Decision or are other issues regarding case management or customer service, see Table 5.

Check the case for information regarding family and domestic violence or other health and safety risks, including:

• Family Violence / Sensitive Issues indicator
• information (including Cuba notes) or communication indicating a history of violence between the parents or another person
• current family violence orders
• intervention or restraining orders involving either or both parents, or another person
• either parent expressing concerns for the safety of themselves, their children, or another person

See Family and domestic violence.

In some cases, information that relates to family and domestic violence, a risk to health or safety, or that is inflammatory, may be relevant to the appeal. Where appropriate, consider whether there are grounds to seek a non-disclosure order.

Note: the AST Mailbox will have advised the ART at time of review lodgement if there was a family and domestic violence indicator on a Cuba record. This will also be recorded on the database.

At any later stage, if new information about family and domestic violence, or a risk to the health or safety of a person becomes available, see Table 5.

Prepare the initial set of documents which will form the basis of the final ART documents. This must include:

• Record of Application to the ART
• All evidence and attachments submitted by the applicant with their record of application
• Objection Cover Letter issued to the Applicant
• Objection Cover Letter issued to the other party (if applicable)
• Statement of Reasons report for the decision
• Assessment notices generated because of the decision (if applicable)

Every review will have notepads, letters, documents and any relevant Cuba screen prints. See Document preparation – All ART Appeal Documents.

All ART documents must include the:

• ART application
• initial decision
• objection decision
• post decision contact and developments

Note: only include contact/developments relevant to the issue which the ART is considering.

There may also be a handful of specific notepads, letters, documents and Cuba screen prints to be included in addition, depending on the type of decision being reviewed.

The agency’s obligation is to provide all relevant documents.

The role of the staff member preparing the ART documents is to decide what documents are relevant.

Producing irrelevant documents to the ART may breach the secrecy provisions of the child support law.

The test of what is relevant information to the Tribunal’s review of a decision will depend on the facts and circumstances of each case.

Generally, a document is relevant if:

• the original decision or objection decision mentions the document/evidence
• the original decision maker expressly used the document
• the document has bearing upon or is connected with the decision
• the document has the ability to affect the assessment of the probability of a fact in issue in the proceedings.

Read the Statement of Reasons report to identify the decision under review and the information used or considered by the decision maker.

Any evidence or document listed in the Statement of Reasons must be provided to the ART.

Review HPE Content Manager for:

• evidence or documents edited before Open Exchange of Information. This may help in identifying any FDV or other health and safety concerns
• external search results

Note: the original unedited document from View Correspondence must be included in the ART documents, subject to any allowable redactions, see Table 3.

If the information relevant to the decision under review is a paper record in storage, see Step 6

Use the relevant Document preparation – specific appeal types to make sure all relevant information is identified.

Review Cuba records to identify any other relevant information. Print the following and add to the ART documents:

• relevant documents from the View Correspondence window
• records of contact attempts relevant to the review
• letters to the customers relevant to the decision under review, and
• Cuba windows relevant to the review

Check the Feedback and Review activity (Complaints) and the CSA online Account windows for any relevant documents.

If the information relevant to the decision under review is a paper record in storage, see Step 6.

AUSTRAC - Suspicious Matter Reports (SMR) must not be included in any ART documents. They cannot be disclosed to any court or tribunal and are not admissible as evidence.

If there is a reference to any AUSTRAC material within the decision subject to the review, escalate to a Service Support Officer (SSO).

The SSO must review AUSTRAC search results to make sure they do not contain an SMR/SUSTR – these must not be recorded in the system. If a record needs to be removed, take immediate action by sending an email the National ICS mailbox.

Full details regarding AUSTRAC disclosure of information can be found on the Resources page.

If applicable gather documents from batchfiling by completing the Create, Transfer or Retrieve a Corporate File webform in mySupport.

• Documents retrieved from batch filing or archives will be in either electronic or paper form. They may take several weeks to arrive. Determine if the document is essential and discuss the matter with an SSO/PSM
• Continue to prepare and finalise ART documents within 28 days of or any other timeframe specified by the ART
• Documents received after the timeframe can be provided to the ART after the initial ART documents are dispatched

A customer may send in documents that are in a foreign language which may be relevant to the review.

Any document provided to the ART that is not in English must be accompanied by a NAATI certified translation.

Check Cuba to see if a translated copy has already been requested and received.

If a translated copy cannot be located make a translation request as soon as possible. See Translation of documents.

Record what documents have requested to be translated in the review record.

Record when translated documents are received and upload a copy to Cuba.

The documents are saved electronically in the AST shared drive using the agreed naming convention. This is to make sure that when the documents are combined into a single PDF document they will be in the correct order.

For the agreed correct order for documents lodged with the ART, see Order of documents content in Document Preparation - all ART Review Files.

As a general rule it will not be necessary for staff to document in Cuba what information has been included in the ART documents.

However, if Service Officer decides that certain information is relevant where it would ordinarily not be considered relevant (e.g., documents not listed at Step 1), they must outline the reason for including the information on the Exit Document.

Identify if there is any information that is relevant to the review of the decision, but which may require redaction.

The following confidential information must be redacted:

• Tax File Number (TFN)
• Passport number
• CRN and Child Support identification number
• Bank account numbers (other than the last 4 digits)

Generally, the information below should always be redacted, however relevant information cannot be redacted. If any of this information is relevant to the review, speak to an SSO to consider seeking a non-disclosure order.

• The identity of any person who is not a party to the review
• The residential and postal addresses of a party or any other person
• The email addresses of a party or any other person
• The telephone numbers of a party or any other person
• Details (such as registration numbers) capable of identifying any vehicles of a party or any other person
• The name, ABN and street address of the employer of a party or any other person
• Information regarding a residence, business, place or locality which is capable of being used, on its own or together with other information, to identify the whereabouts of a party or any other person

For example:

Third party identity details may be relevant where business structures or partnerships establish a person’s capacity or income under Change of Assessment Reason 8

Use Adobe to mark information for redaction. See Building a file using Adobe Professional X1.

The final ART documents will be sent to the ART and parties to the review. It is edited and reviewed to make sure all relevant documents are included, and sensitive information (see Step 2 and 3) has been removed (where appropriate).

Once the ART documents are completed the Service Officer must review the documents to make sure:

• redactions have been applied correctly
• no relevant content is missing, and
• all included documents are relevant (even if the document includes some irrelevant information)

As a general rule it will not be necessary for staff to document in Cuba what information has been included in the ART documents.

However, if Service Officer decides that certain information is relevant where it would ordinarily not be considered relevant (e.g., documents not listed in Document preparation – All ART Documents), they must outline the reason for including the information on the Exit Document.

Complete a check on the final ART document by:

• making sure all relevant information used to make the decision is included
• assessing the relevance of the information included by understanding and forming a view about the scope of the decision under review
• using the Document preparation - specific appeal types to make sure all the relevant documents are included
• checking that all documents have been redacted in accordance with Table 3
• checking the documents are in correct date order
• complete the ART Document Exit Check request

If additional documents or information is considered relevant beyond those normally required as listed in Document preparation – specific appeal types, document the reason consider the additional document relevant and why they are included.

Document in Cuba

Document the holding position and location of the AST Officer who is building the ART document.

Notepad subject: Document Prep completed.

Notepad body: ART document preparation completed by [insert first name] in [insert site].

Update Database

Update the database to show which AST Officer completed the document preparation.

In the Document Preparation section:

• Document Preparation Officer, select Service Officer’s name
• Site, select Service Officer’s site
• Completed, enter the date document build was completed

Escalate reviews that are deemed to be high risk to an SSO for a secondary check.

A high risk customer/case can be identified by the following:

• Current PS management
• RACS arrangements
• Family and Domestic Violence indicator
• Self-harm statement
• Previous upheld privacy breaches
• Sensitive indicators, including DCM, emergency response, security incident
• Social Work involvement
• Any case that may require exception handling, such as where relevant material includes Ombudsman/Ministerial content, documents of a sensitive nature (e.g. medical issues, witness protection, evidence from children or conflict between the parents), FDV, or other health or safety concerns

Note: a Service Officer may request a secondary check where there are unusual circumstances that do not meet the above requirements, in consultation with their SSO/Team Leader. A Team Leader may also determine a Service Officer’s work needs to be secondary checked while building proficiency.

If the Service Officer has found reason why a secondary check is not required for a particular case, this needs to be identified on the ART Exit Check Request. An SSO may determine a secondary check is not required and will leave a note in Cuba explaining the decision, otherwise they will complete the secondary check.

Update the database and document in Cuba the need for a secondary check.

Is a secondary check required?

• Yes, go to Step 3
• No, continue with the process

Update database

Update to show which AST Officer completed the build.

In the Second Review section:

• Second Review Officer, select No Check
• Site select, Service Officer’s site
• Completed, key the date document build was completed

Document in Cuba

Update to reflect no secondary check required, the AST Officer that completed the preparation, location and date.

Notepad subject: Doc Prep complete - No Secondary Check required

Notepad body: ART document preparation has been completed and placed in National Workload Allocation - Lodgement folder

Go to Step 5

Place the final ART document and Exit document in the National Workload Allocation – Checking folder.

Document in Cuba

Update to reflect second review required, the AST Officer that completed the preparation, location and date.

Notepad subject: Document Prep complete

Notepad body: Secondary Check Required.
Document Preparation has been completed and sent for secondary review. ART document has been placed in National Workload Allocation – Checking folder.

Complete a check on the final ART documents by:

• making sure all relevant information is included
• checking that all documents have been redacted in accordance with Table 3
• checking the documents are in correct date order, and
• signing off the ART Document Exit Request, update Cuba and the ART database

Using Verint complete the transactional quality check for the AST Secondary Check. Answer all relevant questions in the form and make sure a copy is supplied to both the Service Officer and the Team Leader. If the ART documents need extra work or a complete rebuild return it to the Service Officer and inform the Team Leader.

Note: if a non-disclosure application is required, see Table 5.

Update Database

Second review allocated, update to show the holding position of the AST SSO conducting the secondary check and their location.

• In the Second review section:
• Secondary Check Officer: select SSO’s name
• Site: select SSO site

Secondary check completed, update to show the secondary check is complete:

In the Second Review section:

• Complete, key the date file secondary check was completed

Document in Cuba

Secondary check allocated, add a document to show the AST SSO conducting secondary check and their location:

• Notepad subject: Secondary Check in progress
• Notepad body: Secondary check in progress with [insert USERID or first name] in Melbourne/Brisbane

Secondary check completed, add a document to reflect the check is complete:

• Notepad subject: Secondary check completed
• Notepad body: Secondary check completed and has been placed in the National Workload Allocation - Lodgement folder

If additional documents or information is considered relevant beyond those normally required as listed in Document preparation – specific appeal types, document the reason consider the additional document relevant and why they are included.

Apply redactions to the document using Adobe. Complete a final check after saving and re-opening to make sure redaction have applied correctly.

Apply page numbers using:

• Font: Arial Black Bold
• Size: 12
• Position: Right Footer Text

Using Adobe remove all current bookmarks in the ART Documents.

Create new bookmarks linking to the corresponding pages in the ART documents for the following document types:

• ART APPLICATION
• STATEMENT OF REASONS
• CHRONOLOGY OF DOCUMENTS
• ORIGINAL DECISION
• SCREEN PRINTS (if included)

After completing the relevant checks, the Service Officer/SSO places the appeal and exit document in the Lodgement Folder of the National Workload Allocation folder in the shared drive ready for lodgement.

Do not send documents still being considered under a non-disclosure application to the customers. For more information about the non-disclosure process, see Table 5.

Exception handling is the process of identifying cases that need additional actions to be taken outside of the routine ART review process. The action required will fall into the following categories:

• Documents relating to an Ombudsman or Ministerial investigation
• The Service Officer identifies a problem with the objection decision or there are issues regarding case management or customer service
• There is something unusual about the case, application or objection decision. It may be appropriate for the Senior Advisor to make written and/or oral submissions to the ART about these issues
• There are family and domestic violence, or health and safety concerns. See Family and domestic violence
• There is Single Touch Payroll information referenced in the objection decision or stored in records that may be relevant
• There are documents or parts of documents which are confidential or sensitive, but may be relevant to the appeal and may require a non-disclosure application, e.g.:
• medical issues
• witness protection
• evidence from children
• conflict between the parents

The above list is a guide only. If a Service Officer is unsure whether exception handling is required, seek advice from an SSO or Team Leader.

Documents relating to an Ombudsman or Ministerial investigation should not be included unless they are directly related to the decision under review. In these situations, if the Service Officer considers that information relating to an Ombudsman or Ministerial investigation is relevant to the review, they should first consult with the SSO/Team Leader.

The SSO/Team Leader will contact External Complaints via their mailbox to advise the information may be sent to the ART and both parties.

External Complaints will liaise with relevant stakeholders to determine if a document is sensitive or confidential.

Service Officers who identify a problem with the objection decision, or issues regarding case management or customer service need to discuss these with their SSO/Team Leader as soon as possible to determine the best resolution.

Resolution may include:

• correcting errors
• other administrative resolutions (e.g. customer contact, re-issuing of letters)

If correcting an error on the case will affect the decision under review, the ART will need to be notified of the outcome and changes.

If new information about family and domestic violence, or health and safety concerns becomes available, it can be provided to the ART if:

• there is information or communication indicating violence between the parties which may affect their conduct during the ART hearing
• either parent has expressed concerns for the safety of themselves or their children, or another person

In this instance the AST Service Officer must escalate the matter to their SSO or Team Leader.

For more information on family and domestic violence see:

• Family and domestic violence
• The Child Support Guide 1.4.1: Family & domestic violence
• The Child Support Guide 6.3: Privacy, secrecy & proof of identity

STP information cannot be used to make decisions affecting a customer’s eligibility or entitlement without a secondary confirmation source.

If an objection decision references STP, or there is STP data stored in Cuba or other records that may be relevant, consult an SSO or Team Leader.

If a relevant document contains personal, sensitive or confidential information and it cannot be redacted, the Service Officer must:

• liaise with their SSO about whether a non-disclosure application is needed
• record a note in the Exit Document, explaining why the information is sensitive, why it should not be disclosed to the parties, and why non-disclosure would not affect the fairness of the review
• for non-complex matters, the Service Officer will complete the non-disclosure application and schedule for review by the SSO

The SSO will consider whether a non-disclosure application is needed.

The SSO will determine if contact with the customer is required to explain the process of disclosing documents during the ART process.

Note: if a document has already been exchanged with the other party through an open exchange of information process, this may negate the need for a non-disclosure request. The SSO should seek advice from a PSM is there is any uncertainty.

The SSO will advise the Service Officer of the outcome and note their decision in the exit sheet.

Is a non-disclosure application needed?

• Yes, go to Step 8
• No, go to Step 10

The SSO will determine if the information is sensitive or confidential and they will make a non-disclosure application.

The SSO will:

• prepare the UQ70.16 - ART Non-disclosure of document request - to ART letter
• complete the Schedule of documents subject to the s70 of the ART Act application template. This will assist the ART with the reason the application has been made for every page under consideration
  Note: the applicant must state why the information is sensitive and why not disclosing a document would not affect the fairness of the review
• combine the following documents:
• the original non-disclosure application
• the Schedule of Documents
• copies of the documents which are the subject of the non-disclosure application
• send the completed application to the ART via Bluezone
• save the completed application to HPE Content Manager with correct naming convention

Note: do not send any part of the non-disclosure application or copies of the documents which are the subject of the application to the customers.

Update database

Update to reflect the application for non-disclosure is proceeding and which document type it is applicable to.

• From the non-disclosure application dropdown menu, select either:
• S23 Request for Statement, or
• s25 Review File

Document in Cuba

Create a document in Cuba to reflect that a non-disclosure application has been made.

Notepad subject: s70 Non-Disclosure Application

Notepad body: s70 Application

Application for Non-Disclosure of Information and/or Documents under section 70 of the Administrative Review Tribunal Act 2024 sent to the ART via BlueZone.

Bluezone: [insert number of pages] on [insert date] at [insert time]

Saved in HPE Content Manager as: [insert appeal number] – [insert appeal number] CSA [insert case number] ([insert date- YYYYMMDD insert action])

Examples for HPE Content Manager

2021AB012345 - 2021-AB012345_CSA_14278840 (20230710 Application)

2021AB012345 - 2021-AB012345_CSA_14278840 – (20230710 Marked for redaction)

The ART will consider the application and email a direction to Child Support.

The ART can make a direction of:

• full disclosure
• partial disclosure, or
• non-disclosure

The AST mailbox administrator will:

• receipt the directions of ART in the SSAT Maintenance Window
• send a copy of the direction to the SSO who made the application

Select the disclosure direction provided.

The Service Officer/SSO will:

• action the directions as ordered by the Tribunal applying redactions and paginating pages
• create a unique MX0-1 letter for both customers, using the UQ70.07 - ART Non-disclosure of documents decision letter. See Letters Cuba Process Help
• attach a copy of any information which was ordered to be disclosed
• Bluezone the paginated pages to the Tribunal using the section 25 additional documents code, and
• save the letters and information to the ART document

Update database

Update to reflect the non-disclosure outcome

From the non-disclosure section fill in the following fields:

• Direction received outcome
• Direction outcome
• Docs sent date - only applicable if partial/full disclosure outcome

Document in Cuba

Update to reflect the non-disclosure outcome.

Notepad subject: s70 Non-Disclosure Outcome

Notepad body:

Full disclosure or Partial disclosure.

A copy of this decision can be found in Vew Correspondence window.

Partial/full disclosure outcome:

S70 Non-Disclosure direction has been finalised and sent to the ART via BlueZone.

Bluezone: [insert number of pages] on [insert date] at [insert time]

Saved in HPE Content Manager as: [insert appeal number] – [insert appeal number] CSA [insert case number] ([insert date- YYYYMMDD insert action])

Examples for HPE Content Manager

2021AB012345 - 2021-AB012345_CSA_12121212 (20230720 ART Direction)

2021AB012345 - 2021-AB012345_CSA_12121212 (20230726 Direction Actioned)

2021AB012345 - 2021-AB012345_CSA_12121212 (20230726 Marked for redaction)

The Service Officer/SSO will:

Update database

Update to reflect the non-disclosure outcome

From the non-disclosure section fill in the following fields:

• Direction received outcome
• Direction outcome

Document in Cuba

Update to reflect the non-disclosure outcome.

Notepad subject: s70 Non-Disclosure Outcome

Notepad body:

Non-disclosure direction received.

A copy of this decision can be found in View Correspondence window.

No documents release to the customer as per direction.

Examples for HPE Content Manager

2021AB012345 - 2021-AB012345_CSA_12121212 (20230720 ART Direction)

2021AB012345 - 2021-AB012345_CSA_12121212 (20230726 Direction Actioned)

2021AB012345 - 2021-AB012345_CSA_12121212 (20230726 Marked for redaction)

The SSO will:

• complete the sign off exception handling form
• detail the outcome in a notepad in the SSAT Maintenance window
• update the ART database

Create letters

Prepare the covering letter to the applicant (MX19-1). If there is a respondent to the ART review, prepare the covering letter to the respondent (MX20-1). These will print locally. See Letters Cuba Process Help.

Issue letters and documents to customer/s

• Print double sided copy of the final ART document for each party of the review. For some appeal types there is only one party
• Hole punch the documents, including the covering letter. Secure them with a plastic tube clip
• Stick the plastic tube clip to a blank sheet of paper at the bottom of the bundle

Send the ART documents by Registered Mail. Documents must be double enveloped.

Note: if the customer is RACS level 1, 2 or 3, check with the case manager or owning team to confirm mailing arrangements.

If either parent is on tracing or if the documents are returned unclaimed, notify the ART by email and undertake customer location activities. Document any tracing action taken in Cuba.

The final ART documents are submitted to the Tribunal electronically via Bluezone (FTP server).

Prepare the Section 23 Statements and Documents coversheet and save it in PDF format. Save the coversheet as the first page in the bundle to be submitted to the ART. Documents must be submitted to the ART electronically via Bluezone within 28 days of the ‘Request for statement’ being received or any other timeframe specified by the ART.

Save the final documents including the cover sheet to HPE Content Manager.

After updating the database and documenting in Cuba, no further action is required until notification of the scheduled hearing date is received from the ART.

Update Database

Update to reflect the AST Officer who completed the dispatch.

In the dispatch officer section:

• Dispatch Officer, select Officer Name
• Site select Officer’s site
• Completed enter the date documents were sent to the ART
• Total Number of Pages enter the number of paginated pages

Document in Cuba

Cuba updated to reflect each stage:

• Bluezone
• Customer copies posted
• Electronic record location
• Page numbering

Bluezone

• Notepad subject: Document sent to ART
• Notepad body: ART documents uploaded to ART via Bluezone xx.xx hrs

Customer copies posted

• Notepad subject: Customer copies sent
• Notepad body:

ART documents Customer copies sent via Registered Post.

Applicant: [Name]

Post tracking number: [Tracking Number]

Respondent: [Name]

Post tracking number: [Tracking Number]

Electronic record location

• Notepad subject: Electronic Record
• Notepad body:

Redacted and paginated documents relating to this review dispatched and saved to HPE:

HPE: 2022xx22 - 2022-MC02xx22_CSA_335

Page numbering

• Notepad subject: Page Numbering
• Notepad body: 23 1 - 346

If delivery of documents has been unsuccessful, they will be returned to the Appeals Support Team. On receipt of returned documents check if the ART decision has been made.

Has the ART decision been made?

• Yes, securely destroy the documents and document in Cuba
• No, go to Step 4

Advise the ART

Advise the ART the details of the documents that have been returned including:

• Name of Customer
• Tracking Number
• Attempted Delivery Address
• Type of Documents returned

Store Documents

Store document in a secure location.

Document on Cuba

Document in the Appeal record that the documents have been returned.

ART Advise of new postal address

The ART may advise of a new address to send documents to. Do not update Cuba with this address.

• Retrieve the documents from secure storage and dispatch to the customer with a new tracking number
• Update Cuba with the new tracking details and tell the ART the new details

ART cannot provide new address

If the ART is unsuccessful in obtaining a new address, attempt to contact the customer to update their address.

If customer contact is not successful and the address in Cuba is Invalid, undertake tracing activities.

If a customer calls to advise that they have not received documents for an ART appeal:

• Check the customer has the correct postal address on Cuba
• Check the ART review record in SSAT Maintenance Window to see if the documents have been returned by Australia Post
• If documents have been returned, e-mail NATIONALAST.ARTCORRESPONDENCE with:
• Name of Customer
• Child Support Reference Number
• Address where documents should be sent